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Lawrence John Rogers

SP Securities LLC

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About Lawrence John Rogers

Lawrence Rogers is a financial professional with over 15 years of experience in the industry. Lawrence is currently registered with SP Securities LLC. Lawrence's previous experience includes working with DCF, LLC and Benjamin & Jerold Brokerage I, LLC. Lawrence holds Series 7, 24, 63, 79TO and SIE licenses.

Firm Information

Lawrence Rogers is currently registered with SP Securities LLC. SP Securities LLC is a Limited Liability Company that was formed on January 15, 2004. The firm is registered with the SEC and in 13 states, including Alabama, California, Colorado, Florida, Illinois, Louisiana, Massachusetts, New Jersey, New York, North Carolina, Rhode Island, Texas, and Washington.

Not reported

Assets Under Management

Not reported

Total Clients

25

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Lawrence Rogers’s Registration & Firm History

TX

12/19/2023 - Present

SP Securities LLC (HOUSTON TX)

TX

07/16/2021 - 12/31/2021

SP SECURITIES LLC (HOUSTON TX)

TN

06/30/2017 - 08/05/2019

DCF, LLC (CHATTANOOGA TN)

TX

09/09/2016 - 04/28/2017

DCF, LLC (Houston TX)

NY

03/10/2015 - 08/26/2015

BENJAMIN & JEROLD BROKERAGE I, LLC (NEW YORK NY)

TX

10/11/2007 - 07/17/2013

CORPORATE FINANCE SECURITIES, INC. (HOUSTON TX)

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Licenses & Designations

BC

Issued 05/11/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/11/2007

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/12/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lawrence John Rogers.
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